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Kevin Polheber Involved in an Investor Dispute Alleging Misrepresentation

Apr 26, 2022 Misrepresentation

Kevin Polheber (CRD #: 2183629), a broker registered with Calton & Associates, is involved in an investor dispute, according to his BrokerCheck record, accessed on April 12, 2022. He is also an investor advisor registered with Investment & Tax Strategies.

Investor Allegations

On January 31, 2022, Kevin Polheber was named in an investor dispute alleging misrepresentation and omission and a breach of fiduciary duty. The investor is seeking $50,000一the case is still pending.

Misrepresentation is a Breach of Fiduciary Duty

FINRA Rule 2020 prohibits stockbrokers from making misrepresentations or persuading individuals to purchase investments by making misleading claims regarding their potential benefits. This unethical conduct also violates FINRA Rule 2010, which states that brokers must uphold high standards of commercial honor.

If you suffered investment losses as a result of misrepresentations, you may be able to recover your losses through FINRA arbitration. 

Background Information

Kevin Polheber has passed the following exams:

  • Series 65 - Uniform Investment Adviser Law Examination
  • Series 63 - Uniform Securities Agent State Law Examination
  • SIE - Securities Industry Essentials Examination
  • Series 7 - General Securities Representative Examination
  • Series 6 - Investment Company Products/Variable Contracts Representative Examination
  • Series 26 - Investment Company Products/Variable Contracts Principal Examination

Kevin Polheber is a registered broker in six states, he is also a registered investment advisor with Colorado and Wisconsin. 

Besides Calton & Associates and Investment & Tax Strategies, Kevin Polheber has also worked with the following firms:

  • Linsco/Private Ledger Corp. (CRD#:6413)
  • ABN AMRO Financial Services (CRD#:20373)
  • Banc One Securities Corporation (CRD#:16999)
  • Fortis Investors (CRD#:421)

Kurta Law Can Help

If you worked with Kevin Polheber and have concerns about your investments, don't hesitate to contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.